While we recognize that you have a way you like to do business and respect your individual style, we’ll help you adhere to regulation.
One way is by addressing issues on the corporate level. For you, this means less time struggling to understand complicated rules and more time doing business with clients. We provide onsite examinations and educational meetings to help ensure you’re on the right track and upholding the standards of ethical business. We participate in industry organizations and advocate the best interests of independent broker/dealers to eliminate some of the burden.
We also communicate frequently about pending rule changes and how to comply with new legislation. And when you have a unique situation that requires guidance, we’re just a phone call away. We’ll find a solution together.